Frank S. Chang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Siu Chang, who also goes by Frank S Chang, Siu Yun Chang, Frank S Chang, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1993. Frank had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2017 - April 30, 2018
ALLSTATE FINANCIAL SERVICES, LLC
September 15, 2010 - August 17, 2017
HORACE MANN INVESTORS, INC.
March 11, 2009 - August 20, 2010
TOWER SQUARE SECURITIES, INC.
October 31, 2006 - June 14, 2007
WELTON STREET INVESTMENTS LLC
January 23, 2004 - December 31, 2004
SENTRY EQUITY SERVICES, INC.
October 31, 2002 - December 19, 2003
QUEST CAPITAL STRATEGIES, INC.
August 29, 2001 - September 27, 2002
USALLIANZ SECURITIES, INC.
October 27, 1999 - August 27, 2001
WMA SECURITIES, INC.
April 21, 1999 - September 23, 1999
SIGNATOR FINANCIAL SERVICES, INC.
July 31, 1995 - April 1, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 31, 1995 - April 1, 1999
OSAIC FA, INC.
June 29, 1994 - July 31, 1995
NATHAN & LEWIS SECURITIES, INC.
October 7, 1993 - July 18, 1994
METROPOLITAN LIFE INSURANCE COMPANY
October 7, 1993 - July 18, 1994
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
